401k Plan data: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN plan

SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 401k Plan overview

Plan Name	SAINT VINCENT HEALTH SYSTEM 401(K) PLAN
Plan identification number	001

SAINT VINCENT HEALTH SYSTEM 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SAINT VINCENT SURGERY CENTER OF ERIE has sponsored the creation of one or more 401k plans.

Company Name: SAINT VINCENT SURGERY CENTER OF ERIE

Employer identification number (EIN): 421609387

NAIC Classification: 622000
NAIC Description: Hospitals

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SAINT VINCENT HEALTH SYSTEM 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-07-01 RACHEL FUNK KEVIN KURODA 2014-04-15
001 2011-07-01 RACHEL FUNK KEVIN KURODA 2013-04-08
001 2009-07-01 CAROLYN ARNEMAN KEVIN KURODA 2011-04-14

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-07-01	RACHEL FUNK	KEVIN KURODA	2014-04-15
001	2011-07-01	RACHEL FUNK	KEVIN KURODA	2013-04-08
001	2009-07-01	CAROLYN ARNEMAN	KEVIN KURODA	2011-04-14

Plan Statistics for SAINT VINCENT HEALTH SYSTEM 401(K) PLAN

401k plan membership statisitcs for SAINT VINCENT HEALTH SYSTEM 401(K) PLAN

Measure Date Value
2012: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 466
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 368
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 182
Total of all active and inactive participants 2012-07-01 550
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 4
Total participants 2012-07-01 554
Number of participants with account balances 2012-07-01 554
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 2
2011: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 459
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 350
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 113
Total of all active and inactive participants 2011-07-01 463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 3
Total participants 2011-07-01 466
Number of participants with account balances 2011-07-01 466
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 6
2009: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 375
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 152
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 236
Total of all active and inactive participants 2009-07-01 388
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 1
Total participants 2009-07-01 389
Number of participants with account balances 2009-07-01 389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 1

Measure	Date	Value
2012: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	466
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	368
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	182
Total of all active and inactive participants	2012-07-01	550
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	4
Total participants	2012-07-01	554
Number of participants with account balances	2012-07-01	554
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	2
2011: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	459
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	350
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	113
Total of all active and inactive participants	2011-07-01	463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	3
Total participants	2011-07-01	466
Number of participants with account balances	2011-07-01	466
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	6
2009: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	375
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	152
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	236
Total of all active and inactive participants	2009-07-01	388
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	1
Total participants	2009-07-01	389
Number of participants with account balances	2009-07-01	389
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	1

Financial Data on SAINT VINCENT HEALTH SYSTEM 401(K) PLAN

Measure	Date	Value
2013 : SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-06-30	$1,609,683
Total of all expenses incurred	2013-06-30	$1,024,095
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-06-30	$976,936
Value of total corrective distributions	2013-06-30	$46,234
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-06-30	$601,193
Value of total assets at end of year	2013-06-30	$9,932,177
Value of total assets at beginning of year	2013-06-30	$9,346,589
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-06-30	$925
Total interest from all sources	2013-06-30	$5,801
Total dividends received (eg from common stock, registered investment company shares)	2013-06-30	$136,294
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-06-30	$136,294
Was this plan covered by a fidelity bond	2013-06-30	Yes
Value of fidelity bond cover	2013-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2013-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-06-30	No
Contributions received from participants	2013-06-30	$301,181
Participant contributions at end of year	2013-06-30	$130,244
Participant contributions at beginning of year	2013-06-30	$138,107
Assets. Other investments not covered elsewhere at end of year	2013-06-30	$104,920
Assets. Other investments not covered elsewhere at beginning of year	2013-06-30	$17,876
Income. Received or receivable in cash from other sources (including rollovers)	2013-06-30	$1,655
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-06-30	$251
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-06-30	$556
Other income not declared elsewhere	2013-06-30	$449
Administrative expenses (other) incurred	2013-06-30	$925
Total non interest bearing cash at end of year	2013-06-30	$6,055
Total non interest bearing cash at beginning of year	2013-06-30	$1,713
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Value of net income/loss	2013-06-30	$585,588
Value of net assets at end of year (total assets less liabilities)	2013-06-30	$9,932,177
Value of net assets at beginning of year (total assets less liabilities)	2013-06-30	$9,346,589
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-06-30	No
Were any leases to which the plan was party in default or uncollectible	2013-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-06-30	$8,131,705
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-06-30	$7,715,505
Value of interest in pooled separate accounts at end of year	2013-06-30	$1,522,147
Value of interest in pooled separate accounts at beginning of year	2013-06-30	$1,442,252
Interest on participant loans	2013-06-30	$5,475
Interest earned on other investments	2013-06-30	$326
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-06-30	$36,855
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-06-30	$30,580
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-06-30	$844,024
Net investment gain/loss from pooled separate accounts	2013-06-30	$21,922
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-06-30	No
Was there a failure to transmit to the plan any participant contributions	2013-06-30	Yes
Has the plan failed to provide any benefit when due under the plan	2013-06-30	No
Contributions received in cash from employer	2013-06-30	$298,357
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-06-30	$976,936
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-06-30	No
Did the plan have assets held for investment	2013-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-06-30	Disclaimer
Accountancy firm name	2013-06-30	MALIN BERGQUIST & COMPANY, LLP
Accountancy firm EIN	2013-06-30	251249913
2012 : SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-06-30	$892,778
Total of all expenses incurred	2012-06-30	$517,216
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$509,447
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-06-30	$856,149
Value of total assets at end of year	2012-06-30	$9,346,589
Value of total assets at beginning of year	2012-06-30	$8,971,027
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-06-30	$7,769
Total interest from all sources	2012-06-30	$6,390
Total dividends received (eg from common stock, registered investment company shares)	2012-06-30	$121,650
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-06-30	$121,650
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Contributions received from participants	2012-06-30	$536,426
Participant contributions at end of year	2012-06-30	$138,107
Participant contributions at beginning of year	2012-06-30	$129,559
Assets. Other investments not covered elsewhere at end of year	2012-06-30	$17,876
Assets. Other investments not covered elsewhere at beginning of year	2012-06-30	$17,585
Income. Received or receivable in cash from other sources (including rollovers)	2012-06-30	$33,985
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-06-30	$556
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-06-30	$84
Other income not declared elsewhere	2012-06-30	$291
Administrative expenses (other) incurred	2012-06-30	$925
Total non interest bearing cash at end of year	2012-06-30	$1,713
Total non interest bearing cash at beginning of year	2012-06-30	$490
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$375,562
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$9,346,589
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$8,971,027
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Investment advisory and management fees	2012-06-30	$6,844
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-06-30	$7,715,505
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-06-30	$7,206,307
Value of interest in pooled separate accounts at end of year	2012-06-30	$1,442,252
Value of interest in pooled separate accounts at beginning of year	2012-06-30	$1,588,236
Interest on participant loans	2012-06-30	$6,388
Interest earned on other investments	2012-06-30	$2
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-06-30	$30,580
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-06-30	$28,766
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-06-30	$-114,908
Net investment gain/loss from pooled separate accounts	2012-06-30	$23,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Contributions received in cash from employer	2012-06-30	$285,738
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$509,447
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-06-30	No
Did the plan have assets held for investment	2012-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	MALIN BERGQUIST & COMPANY, LLP
Accountancy firm EIN	2012-06-30	251249913
2011 : SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-06-30	$2,232,753
Total of all expenses incurred	2011-06-30	$229,657
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$210,220
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$986,031
Value of total assets at end of year	2011-06-30	$8,971,027
Value of total assets at beginning of year	2011-06-30	$6,967,931
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$19,437
Total interest from all sources	2011-06-30	$6,904
Total dividends received (eg from common stock, registered investment company shares)	2011-06-30	$75,379
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-06-30	$75,379
Administrative expenses professional fees incurred	2011-06-30	$10,023
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$5,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Contributions received from participants	2011-06-30	$425,626
Participant contributions at end of year	2011-06-30	$129,559
Participant contributions at beginning of year	2011-06-30	$130,499
Assets. Other investments not covered elsewhere at end of year	2011-06-30	$17,585
Assets. Other investments not covered elsewhere at beginning of year	2011-06-30	$12,596
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$174,261
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-06-30	$84
Other income not declared elsewhere	2011-06-30	$2,285
Administrative expenses (other) incurred	2011-06-30	$2,525
Total non interest bearing cash at end of year	2011-06-30	$490
Total non interest bearing cash at beginning of year	2011-06-30	$2,847
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$2,003,096
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$8,971,027
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$6,967,931
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Investment advisory and management fees	2011-06-30	$6,889
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$7,206,307
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$5,704,567
Value of interest in pooled separate accounts at end of year	2011-06-30	$1,588,236
Value of interest in pooled separate accounts at beginning of year	2011-06-30	$1,087,171
Interest on participant loans	2011-06-30	$6,904
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-06-30	$28,766
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-06-30	$30,251
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-06-30	$1,134,612
Net investment gain/loss from pooled separate accounts	2011-06-30	$27,542
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Contributions received in cash from employer	2011-06-30	$386,144
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$210,220
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-06-30	No
Did the plan have assets held for investment	2011-06-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	MALIN BERGQUIST & COMPANY, LLP
Accountancy firm EIN	2011-06-30	251249913
2010 : SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0

Form 5500 Responses for SAINT VINCENT HEALTH SYSTEM 401(K) PLAN

2012: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes
2011: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2009: SAINT VINCENT HEALTH SYSTEM 401(K) PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SAINT VINCENT SURGERY CENTER OF ERIE
Employer identification number (EIN):	421609387
NAIC Classification:	622000
NAIC Description:	Hospitals